The SEC awarded more than $30 million to a whistle-blower in its largest payout from a program started in 2011 to encourage people to come forward with evidence of securities fraud.
Wells Fargo & Co. agreed to pay $5 million to settle U.S. regulatory claims that its brokerage unit failed to prevent an employee from trading on nonpublic information related to the 2010 acquisition of Burger King Holdings Inc.
Producers too often run their business without letting their teammates know whats important. Everyone may have a general sense of the mission, but not on what they need to do to make it happen.
Why is it that 16-year-olds can be taught to sell acres of deep fried potatoes to hamburger buyers, but many sales professionals find it difficult to even suggest to a health insurance client they might want to consider dental coverage or group life or disability?
Being first is rarely necessarily and not always a good idea. What matters is not having the latest technology, but rather having the right technology.
Every day a new miraculous technology arises from the primordial ooze that is innovation. The latest tablet device arrives with great fanfare. Apple upgrades its i whatever.
DebugScreen: mobile
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"articles": [
{
"uri": "/2014/09/23/barclays-to-pay-15-million-fine-for-compliance-fai/",
"title": "Barclays to pay $15 million fine for compliance failures",
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"prettyDate": "September 23, 2014",
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"summary": "Barclays failed to enhance its compliance procedures after it bought Lehman Brothers Holdings Inc.s advisory business in 2008.",
"body": null
},
{
"uri": "/2014/09/22/sec-pays-more-than-30m-to-whistle-blower/",
"title": "SEC pays more than $30M to whistle-blower",
"byline": "Alan Katz",
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"prettyDate": "September 22, 2014",
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"authors": [
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"summary": "The SEC awarded more than $30 million to a whistle-blower in its largest payout from a program started in 2011 to encourage people to come forward with evidence of securities fraud.",
"body": null
},
{
"uri": "/2014/09/22/wells-fargo-to-pay-5-million-over-inside-trades/",
"title": "Wells Fargo to pay $5 million over inside trades",
"byline": "Alan Katz",
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"prettyDate": "September 22, 2014",
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"summary": "Wells Fargo & Co. agreed to pay $5 million to settle U.S. regulatory claims that its brokerage unit failed to prevent an employee from trading on nonpublic information related to the 2010 acquisition of Burger King Holdings Inc.",
"body": null
},
{
"uri": "/2011/12/01/smart-goals-focus-on-results/",
"title": "Smart goals focus on results",
"byline": "Alan Katz",
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"prettyDate": "December 01, 2011",
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"summary": "With the first of the year on hand, many benefits professionals will be making the business equivalent of New Years resolutions: a business plan.",
"body": null
},
{
"uri": "/2011/11/01/health-benefits-more-important-than-frozen-yogurt/",
"title": "Health benefits more important than frozen yogurt",
"byline": "Alan Katz",
"kicker": "",
"prettyDate": "November 01, 2011",
"timeToRead": "3 minute",
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"kickerNode": [],
"summary": "Why do knowledge, integrity and stability matter and whats so important about listening to the client?",
"body": null
},
{
"uri": "/2011/10/01/the-football-broker-connection/",
"title": "The football-broker connection",
"byline": "Alan Katz",
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"prettyDate": "October 01, 2011",
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"summary": "Producers too often run their business without letting their teammates know whats important. Everyone may have a general sense of the mission, but not on what they need to do to make it happen.",
"body": null
},
{
"uri": "/2011/09/01/dont-be-afraid-to-cross-sell/",
"title": "Don’t be afraid to cross-sell",
"byline": "Alan Katz",
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"prettyDate": "September 01, 2011",
"timeToRead": "3 minute",
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"summary": "Why is it that 16-year-olds can be taught to sell acres of deep fried potatoes to hamburger buyers, but many sales professionals find it difficult to even suggest to a health insurance client they might want to consider dental coverage or group life or disability? ",
"body": null
},
{
"uri": "/2011/08/01/optimism-is-a-brokers-best-bet/",
"title": "Optimism is a broker's best bet",
"byline": "Alan Katz",
"kicker": "",
"prettyDate": "August 01, 2011",
"timeToRead": "3 minute",
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"authors": [
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"kickerNode": [],
"summary": "Health care reform is bringing dramatic changes to our industry, our profession and our businesses. No breaking news there.",
"body": null
},
{
"uri": "/2011/07/26/technology-not-the-be-all-end-all/",
"title": "Technology: not the be-all, end-all",
"byline": "Alan Katz",
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"prettyDate": "July 26, 2011",
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"summary": "Being first is rarely necessarily and not always a good idea. What matters is not having the latest technology, but rather having the right technology.",
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{
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"title": "Technology: not the be-all, end-all",
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"prettyDate": "July 01, 2011",
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"summary": "Every day a new miraculous technology arises from the primordial ooze that is innovation. The latest tablet device arrives with great fanfare. Apple upgrades its i whatever.",
"body": null
}
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